0000950103-20-022898.txt : 20201124 0000950103-20-022898.hdr.sgml : 20201124 20201124171312 ACCESSION NUMBER: 0000950103-20-022898 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201120 FILED AS OF DATE: 20201124 DATE AS OF CHANGE: 20201124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pacheco Jack A CENTRAL INDEX KEY: 0001344018 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 201345194 MAIL ADDRESS: STREET 1: SMART MODULAR TECHNOLOGIES (WWH), INC. STREET 2: 4211 STARBOARD DRIVE CITY: FREMONT STATE: CA ZIP: 94538 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMART Global Holdings, Inc. CENTRAL INDEX KEY: 0001616533 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 981013909 STATE OF INCORPORATION: E9 FISCAL YEAR END: 0828 BUSINESS ADDRESS: STREET 1: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560-4809 BUSINESS PHONE: (510) 623-1231 MAIL ADDRESS: STREET 1: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560-4809 4 1 dp141410_4-pacheco.xml FORM 4 X0306 4 2020-11-20 0 0001616533 SMART Global Holdings, Inc. SGH 0001344018 Pacheco Jack A C/O SMART MODULAR TECHNOLOGIES, INC. 39870 EUREKA DRIVE NEWARK CA 94560 0 1 0 0 EVP, CFO, COO, Pres SMART Mem Ordinary Shares 2020-11-20 4 M 0 3500 24.93 A 72672 D Ordinary Shares 2020-11-20 4 S 0 3500 30.0612 D 69172 D Ordinary Shares 2020-11-23 4 M 0 4000 24.93 A 73172 D Ordinary Shares 2020-11-23 4 S 0 4000 30.1771 D 69172 D Employee Stock Option (right to buy) 24.93 2020-11-20 4 M 0 3500 0 D 2024-09-22 Ordinary Shares 3500 6230 D Employee Stock Option (right to buy) 24.93 2020-11-23 4 M 0 4000 0 D 2024-09-22 Ordinary Shares 4000 2230 D Includes 3,500 shares sold in connection with a divorce settlement agreement. This transaction was executed in multiple trades at prices ranging from $30.00 to $30.12. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Includes 4,000 shares sold in connection with a divorce settlement agreement. This transaction was executed in multiple trades at prices ranging from $30.00 to $30.47. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The original option vested 25% on September 23, 2015 with the remainder vesting monthly through September 23, 2018. The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 04/10/2020. /s/ Bruce Goldberg as attorney-in-fact for Jack A. Pacheco 2020-11-24